Compliance Officer
hace 2 semanas
What’s your mission?
For the Spanish Branch, We are looking for a Compliance Officer who will be assisting the Head of Compliance in ensuring the company is conducting its business in full compliance with all respective legislation and related rules and regulations. This will involve assisting in the development and maintenance of a compliance monitoring and testing program.
Duties and responsibilities:
- Assist with drafting and implementation of policies and procedures for the Spanish Branch. Verify that all company and regulatory policies and procedures have been documented, implemented, and communicated.
- Advise head of compliance of any new requirement issued by local regulators (CNMV, SEPBLAC etc)
- Assist head of compliance with all local reporting obligations requirement issued by local regulators (CNMV, SEPBLAC etc)
- Assist head of compliance with the implementation or operation of compliance programs.
- Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
- Maintain documentation of compliance activities, such as complaints received / investigation outcomes/compliance reports etc.
- Monitor calls conducted by sales agents and report violations of compliance or regulatory standards.
- Keep informed regarding pending industry changes, trends, and best practices and assess the potential impact of these changes on organizational processes.
**REQUIREMENTS**:
- Must be from the Forex Industry
- Minimum 1 year of compliance experience preferably in a company regulated or authorized by the CNMV
- Very good use of MS Outlook, Word, Excel
- Fluency in English (verbal and written). Knowledge of other languages will be considered an advantage
- Excellent knowledge of Microsoft Office
- Self-motivated with the ability to take initiative
- Ability to work in a fast-paced and deadline-oriented environment.
- Strong problem-solving and conflict resolution skills
- Strong commitment to professional excellence
**Job Types**: Full-time, Permanent
Pay: 35,000.00€ - 50,000.00€ per year
Ability to commute/relocate:
- Madrid, Madrid provincia: Reliably commute or planning to relocate before starting work (required)
Application Question(s):
- Is your experience from the Forex Industry
**Experience**:
- Compliance: 3 years (preferred)
**Language**:
- English (preferred)
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